20150205FilerTraining

Send any questions to [email protected]
NASAA EFD:
Industry Training
T HU R SDAY– FE B R U A R Y 0 5 , 20 1 5 : 2 P M E S T
REMINDERS
• Phones are automatically muted through this
software.
• Send any questions to [email protected] and we
will try to answer them at the end of the
presentation.
EFD Updates
• SEC emails were modified in December to include a link to
www.efdnasaa.org for everyone to continue their notice
filing process with individual States.
• The EFD Support Desk is fully operational and ready to
take your calls.
• They can assist you:
• Setting up new user accounts
• Setting up group accounts
• Resetting passwords
• Finding an offering
EFD Support Information
• Hours of Operation (24/7 – except maintenance)
• Help Desk Support (9-6 Eastern)
• [email protected]
• Phone: 601-453-1979
• User Manuals (coming soon)
• Previous Webinar Recordings are available at
www.nasaa.org/efd
• Frequently Asked Questions (FAQs)
www.efdnasaa.org/faq
EFD: Getting Started
OVERVIEW
www.efdnasaa.org
Website Demonstration
• Navigation Overview and Walk Through
• User Registration and Group Management
• Creating New Filing Notices
• Renewals / Terminations / Withdrawals
• 1st Time Digitization of Offering Notices to States
• Managing Notices and Receipts
• Managing Deficiencies
PAGE 1
Quick Walk Through
Search to find
your Offering
Register your
account
•
Account Registration
PAGE 2
Search by:
EFDID
Accession
Central Index Key (CIK)
Issuer Name
Related Persons
CRD Number
State File Number
Form D Signatures
Select States for
Notices
• 41 Participating States
• Remaining states are
working to participate
Make
Payment
• Your filing notices
are then Completed
• Visible to the public
as Filed
Group Administrators and
User Management
• Each User of EFD should create their own individual account using
their individual email address. EFD Groups can be created to link
EFD user accounts together.
• EFD can help you organize your team by creating and maintaining
Groups
• Group Administrators manage:
• Group membership and access to the EFD system
• All filing notices and filers within the Group
• Users always manage their own notices but may be assigned
additional notices by their Group Administrator
PAGE 3
System Use Fee Explained
• One-time system use fees are assessed per offering
made at EDGAR.
• One System Use Fee is assessed whether you are filing
in one or many states.
• Good for the life of the offering (and all state notices)
including:
•
•
•
•
Renewals
Amendments
Terminations
Withdrawals
• System Use Fees cover the costs of hosting,
maintenance and support of the EFD system.
PAGE 4
1st Time Digitizations
• 1st Time Digitization of any offering will result in a
system use fee.
• Example: You’ve paper filed with a state last year
and now you are “digitizing” your notice filing with
EFD. Even though this is a “renewal” for your
offering notice in a state, this is considered a 1st
time digitization at EFD and a system use fee will
be charged for the offering.
PAGE 5
Payment Options
• Currently ACH is the only available payment
option.
• Credit Cards are being considered and will be
potentially implemented soon.
• ACH is not a wire transfer. It is much more like an
online check and you should not be assessed a fee
from your bank for using the ACH payment option
at EFD.
PAGE 6
Website Demonstration
• The production EFD site is BLUE
• The demonstration EFD site is RED
PAGE 7
www.efdnasaa.org
Questions and Answers
• Questions received from participants.
• Contact Jason Wolf ([email protected]) for any further
questions you may have after this presentation.
• EFD Support is here for you to answer any questions.
Please don’t hesitate to give us a call.
• Thank you for joining!
PAGE 8